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Judicial Watch • Richard A Paez Financial Disclosure Report for 2010

Richard A Paez Financial Disclosure Report for 2010

Richard A Paez Financial Disclosure Report for 2010

Page 1: Richard A Paez Financial Disclosure Report for 2010

Category:Financial Disclosure

Number of Pages:22

Date Created:November 12, 2013

Date Uploaded to the Library:November 13, 2013

Tags:Richard A Paez, Fidelity, Estimated, Richard, Growth, 2010, Market, INVESTMENTS, transactions, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Person Reporting (last name, first, middle initial) Court Organization 
Paez, Richard U.S. Court Appeals for the Ninth Circuit Title (Article III judges indicate active senior status;  Sa. Report Type (check appropriate type)  
magistrate judges indicate full-or part-time)  Nomination,  Date  
Circuit Judge -Active  Initial  Annual  Final  
Sh.  Amended Report Government Act 1978 U.S.C. app.  101-111) Date Report 
06/30/2011 Reporting Period 
01/01/2010 
12/31/2010 Chambers Office Address the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance 
with applicable laws and regulations. 
U.S. Court Appeals 
125 Grand Avenue, Ste. 300 
Pasadena, 91105 

Reviewing Officer Date 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSJTJ NS. (Reporting individual only; see pp. 9-13 filing instructions.)  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY Board Directors  Western Justice Center, Pasadena, 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 
Paez, Richard 

III. N-INVES TMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income  NONE (No reportable non-investment income.)  

 SOURCE AND TYPE  INCOME  
(yours, not spouse's) May 2010  California Judges Retirement System  $6,606.00 Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 

SOURCE AND TYPE 2010 Cedars Sinai Medical Center -Salary 

IV. REIMBURSEMENTS -transportation, lodging,food, entertainment. (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.)  
SOURCE  DATES  LOCATION  PURPOSE  ITEMS PAID PROVIDED  New York University  03/2010  NYC  Interviewer Root-Tilden Pub. Int. students  Airfare and Hotel  

06/30/2011 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 3233 filing instructions.) 
[{] 	NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 

06/30/2011
Paez, Richard 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

Paez, Richard 
06/30/2011 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

06/30/2011
Paez, Richard 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  
(including trust assets)  reporting period  ofrepmting  period  
Place "(X)" after each asset  (1) Amount Code (A-H)  (2) Type (e.g., div.;rent, int.)  (1) Value Code2 (J-P)  (2)  

-A, Beacon Lge Cap Val Plan Sold 05/12/10 (part) 
36. -A. Beacon Lge Cap Val Plan Sold 07/27/10 
-William Blair Int'! Growth Dividend Sold 01/27/10 (part) 
38. 
-William Blair Int' Growth Sold 05/12/10 (part) 

39. 
-Willaim Blair Int'! Growth Sold 07/27/10 (part) 

40. 
-William Blair Int'! Growth Buy 08/04/10 

41. 
-Willaim Blair Int'! Growth Sold 08/10/10 (part) 

I_. lncome Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Markel  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
06/30/2011
Paez, Richard 
VII. INVESTMENTS and -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  
(2)  (2)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code2  Method  buy; sell,  Code2  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption) (J-P)  (ifprivate  
transaction)  

52. 
-John Hancock -Global Leaders Sold 03/30/10 Growth (part) 

53. 
-John Hancock -Global Leaders Sold 05/12/10 Growth (part) 

-John Hancock -Global Leaders Sold 07/27/10 Growth (part) 
-John Hancock -Global Leaders Sold 08/04/10 Growth 
56. -Oakmark Fund Dividend Sold 01/27/10 Income Gain Codes: =$1,000 less 41,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001-$50,000  
(See Columns and D4) =$50.001 -$100.000 =$J00,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000orless =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Markel  
(See Column C2) =Book Value =Other =Estimated  

06/30/2011
Paez, Richard 
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nctudes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

06/30/2011
Paez, Richard 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
dllri!lg
Description Assets Incom.e 
(including trust assets)  reporting period  
(5)  
Place "(X)" after each asset  Jdentityof  
exempt from prior disclosure   buyer/seUer  
(ifprivate  
transaction)  

86. 
-Marsico Focus Sold 06/22/10 (part) 

87. 
-Marsico Focus Sold 07/27/10 (part) 

88. 
-Marsico Focus Buy 08/04/10 Income Gain Codes: =$1,000 less  B=$1,001 -$2,500 =$2,501 -$5,000  D=$5,001-$15,000 415,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001.-$50,000  L=$50,00l  $100,000 =$100,001 -$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001-$5;000,000 =$5,000,001 -$25,000,000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

0613012011
Paez, Richard 
VII. INVESTMENTS and TRUSTS -income, va1ue, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofrepcirting period  
(2)  (2)  (I)  (2)  (4)  (5)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (eg.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code!  div., rent,  Code2  Method  b,uy; sell,  Code  Code  buyer/seller  

(ACH). int.) (J-P) 
Code3 redemption) (J-P) 
(if private 
transaction)
(Q-W) 03. -Selected Shares 	Sold 07127110 (part) 
104. 
-Selected Shares Sold 08104/10 (part) 

105. 
-Selected Shares 	Sold 08110110 Income Gain Codes: =$1,000 less =$1,001-$2,500 =$2,501 -$5,000 =$5,001 -$15,000 5,00I -$50,000  
(See Columns and 04) =$50,001-$100,000 =$100,00t -$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

Date Report 
Paez, Richard 
06/30/2011 

VII. INVESTMENTS and --income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Identity exempt from prior disclosure Code div., rent, Code2 Method buy, sell; Code2 Code buyer/seller (A-H) int.) (J-P) Code3 redemption) (J-P) (if private transaction) 

137. -JP Morgan Cap Core Dividend Sold 01/27/10 
138. 
-Manning Napier World Oppt Ser. Dividend Sold 03/30/10 (part) 

139. 
-Manning Napier World Oppt Serv Sold 05112110 (part) 
140. -Manning Napier World Oppt Serv 
Sold 07/27/10 
(part) 
141. -Manning Napier World Oppt Serv 
Buy 08/04/10 
(add'!) 
142. -Manning Napier World Oppt Serv 
Sold 08/10/10 (part) 
143. -Manning Napier World Oppt Serv Sold 09/21/10 

144. -Victory Diversified Stk Class Dividend Sold 05/22/10 
(part) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,001 -$500,000 =$500.001. $1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50.000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

Paez, Richard 
06/30/2011 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 
Place "(X)" after each asset 
exempt from prior disclosure 

154. 	
Fidelity Int'! Discov Dividend Sold 05112110 
(part) 

155. 
Fidelity Int'! Discov Sold 07/27/10 (part) 

156. 
Fidelity Int'! Discov 	Sold 08/04/10 IncomeGain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00I -$100,000 =$100,001 -$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 Jess =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,00I -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

Paez, Richard 
06/30/2011 
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  
(including trust assets)  reporting period  
(!)  (2)  
Place "(X)"aftereach asset  Amount  Type(e.g.,  
exempt from prior disc:fosure  Code.I  div., rent,  
(A'H) int.)  

171. 
John Hancock Classic Value Sold 08/04/10 (part) 

172. 
John Hancock Classic Val. Sold 09/21/10 (part) 

173. 
John Hancock Classic Val. Sold 10122110 

(part) Income Gain-Codes: =$1,000 less =$1,001-$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,00 -$5,000,000 =More than $5;000,000 Value Codes =$15,000 less =$15,001 -$50,000  L=$50,001-$100,000 =$100,001 -$250,oOO  
(Sec Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000  Pi=$1,000,00I -$5,000,000 =$5,000,001 '$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nctudes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Identifyof buyer/seBer (if private transaction)  
188.  Fidelity Money Market  Sold (part)  05125110  

189. Fidelity Money Market Sold 08/31/10 (part) 
190.  Fidelity Money Market  Buy  09121110  
(add'l)  
191.  Fidelity Money Market  Sold  10/22/10 lnccime Gain Codes: =$1,000 less =$1,001-$2;500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001  $1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000  L'=$50,00I -$100,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,001 -$500,000 =$500,001-$1,000,000 "'$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Paez, Richard 
06/30/2011 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

Date Report 
Paez, Richard 
06/30/2011 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Descriptioll Assls (includillg trust assets) Place0(X)" aftereachasset  
222. 223. 224. 225.  Fidelity Strategic Advisors Core Fidelity Strategic Advisors Core Fidelity Strategic Advisors Core Fidelity Strategic Advisors Core 
Gross value end 
ofreporting period 

(1)  (2)  
Value  Value  
Code  Method  
(J-P)  Code  
(Q-W)  

Type(ecg., buy, 
redemption) 
Buy (add'I) 
Sold (part) 
Buy (add'I) 
Buy (add'I) 
07/27/10 
08/04/10  
08/10/10  
09/21110  

226. 
Fidelity Strategic Advisors Core Buy 10/22/10 (add'I) 

227. 
Fidelity Strategic Advisors Core Buy 11/10/10 (add'I) 

228. 
Strategic Advisors Growth Fund Dividend Buy 06/22/10 

l'.. :}ncome Gain codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001-$50,000  
(See Columns and D4)  F=$50,00I -$100,000 =$100,001 -$1,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(See Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000;001. $25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Markel  
(Sec Column C2) =Book Value =Other =Estimated  

06/30/2011
Paez, Richard 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during 
{including trust assets) reporting period 

Place"(X)" after eachasset 
Amount Type g.; 
exempt from prior disclosure 
(AcH) int.) 
239. 	
Strategic Advisors Emerging Markets Buy 10125110 (add'!) 

240. 	
Strategic Advisors Emerging Markets Buy 11/10/10 (add'!) 

241. 
Fidelity Dividend Growth Dividend 	Buy 05112110 

J.Income Gain Codes: =$1,000 less  B41,00l -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) 450,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$l S.000 less  K415,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,00 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5;000,00 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

06/30/2011
Paez, Richard 
VII. INVESTMENTS and usTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(5) 
buyer/seller 
Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., r:>at.e, .Value Code div., rent, Code Method buy, sell, 
exempt from prior disclosure Code2 
(A-H) int.)  (J-P)  Code  redemption) (if  
transaction)  
256.  Aston Montag CAL Dwell Growth  Dividend  Buy  08/04/10  

257. Aston Montag CAL Dwell Growth Sold 08/10/10 Jncomc Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(Sec Columns and 04) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More ihiin $S,OOO,OOO Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001-$250,000  
(Sec Columns and 03) =$250,00l -$500,000 =$500,00I -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

06/30/2011
Paez, Richard 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nctudes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end . Transactions during reporting period (including trust assets) reporting riod reporting period 
(2) (2) (5) 
Place "(X)" after each asset Amount Type (e.g., Valii Date Value. exempt from prior disclosure Code div., ren Code2 Method buy, sell, Code 
 
Code.I buyer/seller 
(A-H) int.) (J-P) Code redemption) 
transaction) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,00 -$15,000 =$15,001-$50,000  
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50;001 !00,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

makes monthly contribution her Cedars Sinai Medical Center 403(b) Plan. Fidelity Portfolio Advisory Services manageslllllll IRA. 

06/30/2011 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

Signature: Richard Paez 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544